RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C•••••• T••••• P••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Sep 1, 2022 · Columbus, Oh
- H•• I••••••••• P•••••••• L•• independent RIAJan 4, 2022 to Aug 16, 2022 · Austin, Tx
- H•• I••••••••• P•••••••• L•• independent RIAApr 6, 2021 to Dec 31, 2021 · Rhome, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDNov 9, 2006 to Oct 22, 2008 · The Woodlands, Tx
- H•• I••••••••• P•••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Aug 16, 2022, registered Sep 1, 2022 (16 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H•• I••••••••• P•••••••• L••left Oct 22, 2008, registered Apr 6, 2021 (4549 days) · Other
- C•••••• T••••• P•••••• left H•• I••••••••• P•••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-09-01)Aug 16, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address